Securities Examiner
Job in
Montpelier, Washington County, Vermont, 05601, USA
Listed on 2026-07-19
Listing for:
State of Vermont
Full Time
position Listed on 2026-07-19
Job specializations:
-
Finance & Banking
Financial Compliance, Regulatory Compliance Specialist
Job Description & How to Apply Below
Overview
As an Examiner for the Vermont Department of Financial Regulation, Securities Division, your primary responsibilities include examination and ongoing oversight of broker-dealer firms and state registered investment advisory firms to ensure compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations. In the course of each examination, the Examiner will analyze the firm's books and records, trading practices, fee structure, and compliance policies to ensure that they comply with applicable law.
Examinations are conducted both on-site and remotely.
An Examiner also investigates Vermont investor complaints and processes state investment adviser registration applications. An Examiner may occasionally engage in educational outreach events on behalf of the Division. An Examiner must be self-motivated and possess strong time management, organization, critical thinking, and communication skills.
Who May
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×